Michael K. Farris

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CRD#: 2928646

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Kerry Farris, who also goes by Michael Farris, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Farris

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 18, 2016 - January 5, 2018

LEGACY FINANCIAL STRATEGIES, LLC

RIA

CRD#: 283553

OVERLAND PARK, KS

Past

June 7, 2016 - December 16, 2016

LEGACY FINANCIAL STRATEGIES, LLC

RIA

CRD#: 149507

OVERLAND PARK, KS

Past

March 11, 2014 - June 2, 2016

BMF INVESTMENTS, INC.

RIA

CRD#: 170007

PLATTE CITY, MO

Past

January 5, 2001 - August 26, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

PLATTE CITY, MO

Past

September 6, 2000 - June 14, 2016

LPL FINANCIAL LLC

CRD#: 6413

PLATTE CITY, MO

Past

September 9, 1997 - September 23, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEGACY FINANCIAL STRATEGIES, LLC

CRD#: 283553 / SEC#: 801-107930

RIA

Registered Investment Advisory firm - (7/1/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/7/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/29/2000

General Securities Principal Examination

Current Firm

LEGACY FINANCIAL STRATEGIES, LLC

CRD#: 283553 / SEC#: 801-107930

RIA

Registered Investment Advisory firm - (7/1/2016 Approved)

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Contact information

Main Address

5400 Colllege Blvd. Ste. A, Overland Park, KS 66211

Mailing Address

Phone number

(913) 403-0600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY FINANCIAL STRATEGIES, LLC PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	2,014
AUM (Assets Under Management)	$ 806,094,432

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael K. Farris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGACY FINANCIAL STRATEGIES, LLC

BMF INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

Primary Firm SEC Registration

LEGACY FINANCIAL STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/2000

Series 63

Date: 9/10/1997

SIE

Date: 6/14/2016

Series 7

Date: 9/8/1997

Series 24

Date: 11/29/2000

Current Firm

LEGACY FINANCIAL STRATEGIES, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL STRATEGIES, LLC

TRUST BUT VERIFY

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